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Electronic Code of Federal Regulations

blue pill

e-CFR Data is current as of July 30, 2014

TITLE 17—Commodity and Securities Exchanges

CHAPTER I—COMMODITY FUTURES TRADING COMMISSION

PART 5—OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS

rule
§5.1
Definitions.
§5.2
Prohibited transactions.
§5.3
Registration of persons engaged in retail forex transactions.
§5.4
Applicability of part 4 of this chapter to commodity pool operators and commodity trading advisors.
§5.5
Distribution of “Risk Disclosure Statement” by retail foreign exchange dealers, futures commission merchants and introducing brokers regarding retail forex transactions.
§5.6
Maintenance of minimum financial requirements by retail foreign exchange dealers and futures commission merchants offering or engaging in retail forex transactions.
§5.7
Minimum financial requirements for retail foreign exchange dealers and futures commission merchants offering or engaging in retail forex transactions.
§5.8
Aggregate retail forex assets.
§5.9
Security deposits for retail forex transactions.
§5.10
Risk assessment recordkeeping requirements for retail foreign exchange dealers.
§5.11
Risk assessment reporting requirements for retail foreign exchange dealers.
§5.12
Financial reports of retail foreign exchange dealers.
§5.13
Reporting to customers of retail foreign exchange dealers and futures commission merchants; monthly and confirmation statements.
§5.14
Records to be kept by retail foreign exchange dealers and futures commission merchants.
§5.15
Unlawful representations.
§5.16
Prohibition of guarantees against loss.
§5.17
Authorization to trade.
§5.18
Trading and operational standards.
§5.19
Pending legal proceedings.
§5.20
Special calls for account and transaction information.
§5.21
Supervision.
§5.22
Registered futures association membership.
§5.23
Notice of bulk transfers and bulk liquidations.
§5.24
Applicability of other parts of this chapter
§5.25
Applicability of the Act.


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